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CitiStaffing · 10 hours ago

Financial Operations Manager - Private Wealth - MUST be registered 7,63 or 99 - up to $175k + BONUS!

New York, NY

Full-time

Onsite

Senior Level

$175K/yr - $175K/yr

5+ years exp

CitiStaffing is a NYC based investment firm seeking a motivated and experienced Financial Operations Manager for their Client Service/Operations team. The role requires a strong understanding of brokerage processes and involves training junior staff, responding to inquiries, managing asset movements, and ensuring compliance with regulations.

ConsultingHuman ResourcesStaffing Agency

Responsibilities

Research and respond to internal inquiries by phone/email

Review and initiation of asset movement requests (Wires, ACH, Checks, Certificates, etc.)

Account Opening – review client documentation, verify accuracy and completeness, review for AML compliance

Review of Margin Accounts for potential house/fed calls

Liaison between Portfolio Management teams and Clearing Firm (Pershing)

Risk Management – identify exceptions and escalate to management where appropriate

Provide input with respect to ongoing process improvement

Qualification

Series 7 licenseSeries 99 licenseOperations experiencePershingBusiness analytics toolsMicrosoft OfficeTraining junior staff

Required

Bachelors degree required

Must have Series 7 or Series 99

Minimum of 5 years of experience in Operations (knows way around asset movement, account opening, maintenance, corporate traders, ACAT actions, DTC or COD trade settlement, etc.)

Expert level knowledge of Microsoft Office

Interest in data, business analytics/tools, comfort with pulling from a data warehouse and create pivot table/reports/dashboard